Td Ameritrade Retirement Plan
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(An Indirect Wholly Owned Subsidiary of TD Ameritrade Holding
C ONSOLIDATED S TATEMENT OF F INANCIAL C ONDITION AND S UPPLEMENTAL I NFORMATION TD Ameritrade, Inc. (An Indirect Wholly Owned Subsidiary of TD Ameritrade Holding Corporation) SEC File Number 8-23395 September 30, 2014 With Report of Independent Registered Public Accounting Firm TD Ameritrade, Inc. (An Indirect Wholly Owned Subsidiary of TD Ameritrade Holding Corporation) Consolidated Statement of Financial Condition and Supplemental Information September 30, 2014 Contents Report of Independent Registered Public Accounting Firm ............................................................1 Consolidated Statement of Financial Condition ..............................................................................2 Notes to Consolidated Statement of Financial Condition ................................................................3 Supplemental Information Schedule I – Schedule of Segregation Requirements and Funds in Segregation For Customers Trading on U.S. Commodity Exchanges Pursuant to Regulations Under the Commodity Exchange Act ....................................................................................................17 Ernst & Young LLP Tel: +1 312 879 2000 155 North Wacker Drive Fax: +1 312 879 4000 Chicago, IL 60606-1787 ey.com Report of Independent Registered Public Accounting Firm The Board of Directors and Stockholder TD Ameritrade, Inc. We have audited the accompanying statement of financial condition of TD Ameritrade, Inc. (the Company) as of September 30, 2014. This financial statement is the responsibility of the Company’s management. Our responsibility is to express an opinion on this financial statement based on our audit. We conducted our audit in accordance with the standards of the Public Company Accounting Oversight Board (United States). Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the statement of financial condition is free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statement. -
Stock-Market Simulations
Project DZT0518 Stock-Market Simulations An Interactive Qualifying Project Report: submitted to the Faculty of WORCESTER POLYTECHNIC INSTITUTE in partial fulfillment of the requirements for the Degree of Bachelor of Science By Bhanu Kilaru: _____________________________________ Tracyna Le: _______________________________________ Augustine Onoja: ___________________________________ Approved by: ______________________________________ Professor Dalin Tang, Project Advisor Table of Contents LIST OF TABLES....................................................................................................................... 4 LIST OF FIGURES..................................................................................................................... 5 ABSTRACT ..................................................................................................................................... 6 CHAPTER 1: INTRODUCTION ................................................................................................. 7 1.0 INTRODUCTION .................................................................................................................... 7 1.1 BRIEF HISTORY .................................................................................................................. 9 1.2 DOW .................................................................................................................................. 11 1.3 NASDAQ.......................................................................................................................... -
Preferred Shares
TD Waterhouse Jayme Querry CFP, CIM, FCSI Investment Advisor 613-783-1993 [email protected] Preferred Shares www.jaymequerry.com Preferred shares are equity investments that can play a key capital, preferred shares trade on a stock exchange similar to role in many income portfolios. When constructing a portfolio common shares. Preferred shares are similar to bonds in that to provide income and security, it is crucial to consider not they pay a fixed distribution (dividends), have a set par value only how much money you can earn but how much money (generally $25) and their pricing is impacted by the same you keep after taxes. Preferred shares can help maximize a factors affecting bonds – interest rates and corporate credit stable stream of after-tax income. spreads. Preferred shares have a claim on liquidation proceeds, equivalent to par or liquidation value. This claim is senior to What are preferred shares? the claims of common stocks, which have only a residual claim but is junior to traditional debt. Dividend paying preferred shares can be considered a “hybrid” investment, sharing attributes with both bonds What are the advantages of investing in and stocks. Preferred shares are a class of equity carrying additional rights above and beyond those of common stocks. preferred shares? These preferred shares are called “preferred” because their Preferred shares often offer yields that are higher than dividend must be paid before the common stock dividend (if those on bonds, money market instruments and common any) is paid. Preferred shares do not participate in the profits stock. The tax treatment of preferred dividends makes of a company and under normal circumstances have no voting them attractive to individuals and other taxable entities. -
The Best of the Online Brokers Fidelity and TD Ameritrade Are Number One in Our Latest Rankings of 14 Top Discounters
» INVESTING // TRADING THE BEST OF THE ONLINE BROKERS Fidelity and TD ameritrade are number one in our latest rankings oF 14 top discounters. BY ELIZAbeTH ODY ONE OF THE LESSONS RANK-AND-FILE INVESTORS SEEM requires that customers have at least two years of investing experience to have drawn from the brutal 2007–09 bear market is before opening an account.) that professionals can lose money just as easily as they unfortunately, brokers can charge you in many other, less-visible ways. can. a corollary is that keeping costs down is crucial. many now charge nominal fees for as a result, many have decided to take investing into sending paper statements (rather than electronic ones) or for sending you their own hands. “since 2008, our the rankings—from commissions to copies of old statements. other largest source of new accounts—after customer service to whether customers charges aren’t so nominal. merrill people transferring their accounts can purchase stocks overseas—is of edge, which is bank of america’s new from other discount brokers—has supreme importance in determining online-brokerage platform, scored been investors coming from full- who ends up on top. worst for annoying fees. it levies as service brokers or from advisers,” so rather than rank the brokers much as $100 annually for customers says don montanaro, chief executive based solely on what we think is im- with less than $50,000 combined in of tradeking, a discount broker. portant, we decided to ask you, our bank of america and merrill edge competition among discounters is readers, what you value in a broker. -
August 5, 2016 Mr. Robert Dev. Frierson Secretary Board Of
August 5, 2016 CORPORATION Mr. Robert deV. Frierson 211 Main Street Secretary San Francisco, CA 94105 Board of Governors of the Federal Reserve System 20th Street and Constitution Avenue NW Washington, DC 20551 Docket No. R-1537; RIN 7100-AE51 Legislative and Regulatory Activities Division Office of the Comptroller of the Currency 400 7th Street S.W., Suite 3E-218 Mail Stop 9 W-11 Washington, D.C. 20219 Docket ID OCC-2014-0029 Mr. Robert E. Feldman Executive Secretary Attention: Comments/Legal ESS Federal Deposit Insurance Corporation 550 17th-Street, N.W. Washington, D.C. 20429 RIN: 3064-AE04 RE: Net Stable Funding Ratio Proposed Rulemaking Ladies and Gentlemen: The Charles Schwab Corporation ("Schwab")1 appreciates the opportunity to comment on the interagency notice of proposed rulemaking, Net Stable Funding Ratio: Liquidity Risk Measurement Standards and Disclosure Requirements, issued by the Office of the Comptroller of the Currency ("OCC"), Board of Governors of the Federal Reserve System 1 The Charles Schwab Corporation (NYSE: SCHW) is a leading provider of financial services, with more than 330 offices and 10 million active brokerage accounts, 1,6 million corporate retirement plan participants, 1.1 million banking accounts, and $2.62 trillion in client assets as of June 30,2016. Through its operating subsidiaries, the company provides a full range of wealth management, securities brokerage, banking, money management, custody, and financial advisory services to retail investors and independent investment advisors. Through its operating subsidiaries, the company offers a full range of securities brokerage, banking, wealth management and Financial advisory services to individual investors and independent investment advisors. -
Enriching the Lives of Our Customers, Communities and Colleagues
TD BANK GROUP 2016 ANNUAL REPORT Enriching the lives of our customers, communities and colleagues 2016 Annual Report ® The TD logo and other trade-marks are the property of 19504 FSC Logo The Toronto-Dominion Bank or a wholly-owned subsidiary, in Canada and/or other countries. 2016 Snapshot 1 Shareholder and Investor Information Year at a Glance 2 Performance Indicators 4 TD Framework 5 Group President and CEO’s Message 6 MARKET LISTINGS DIVIDENDS Effective March 1, 2017, dividends will be The common shares of The Toronto-Dominion Direct dividend depositing: Shareholders exchanged into U.S. funds at the Bank of Canada Chairman of the Board’s Message 7 Bank are listed for trading on the Toronto Stock may have their dividends deposited directly daily average exchange rate published at 16:30 MANAGEMENT’S DISCUSSION AND ANALYSIS 11 Exchange and the New York Stock Exchange to any bank account in Canada or the U.S. (Eastern) on the fifth business day after the under the symbol “TD”. The Toronto-Dominion For this service, please contact the Bank’s record date, or as otherwise advised by the Bank. FINANCIAL RESULTS Bank preferred shares are listed on the Toronto transfer agent at the address below. Stock Exchange. Dividend information is available at Consolidated Financial Statements 116 U.S. dollar dividends: Dividend payments Further information regarding the Bank’s www.td.com under Investor Relations/Share sent to U.S. addresses or made directly to Notes to Consolidated Financial Statements 124 listed securities, including ticker symbols and Information. Dividends, including the amounts U.S. -
State of Nevada Financial Institutions Division Department of Business and Industry 3300 W
STATE OF NEVADA FINANCIAL INSTITUTIONS DIVISION DEPARTMENT OF BUSINESS AND INDUSTRY 3300 W. Sahara Ave. Suite 250 Las Vegas, Nevada 89102 (702) 486-4120 Fax (702) 486-4563 [email protected] Financial Institutions Contact Information (SB 306 - 8.5) Contact information of the person that a borrower may send information and notices to facilitate mediation under the Forclosure Mediation Program: Contact information of the person that a unit owner’s association may send notices concerning the association's lien: Authorized FMP FMP agent of FMP Authorized agent of FMP FMP FMP FMP FMP Submission Date Financial Institution Name Zip Name financial Street Address City State Zip Code Phone Number Email Name financial institution Street Address City State Phone Number Email Code institution (Y/N) (Y/N) 12/9/2015 1st Alliance Lending, LLC Eric Sanders 111 Founders Plaza suite 1300 East Hartford CT 6108 860-656-1537 [email protected] Eric Sanders 111 Founders Plaza suite 1300 East Hartford CT 6108 860-656-1537 [email protected] 3/10/2016 1ST FIDELITY LOAN SERVICING LLC BSI Financial Services C/O Mediation Dept. Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] BSI Financial Services C/O HOA-COA Notice Y 314 S. Franklin Street – 2ND Floor – PO Box 517 Titusville PA 16354 [email protected] 10/7/2015 1st State Bank Kirsten A. Parks Y 4800 Fashion Square Blvd, PO Box 1468 Saginaw MI 48605 989-799-7500 [email protected] Kirsten Parks Y 4800 Fashion Square Blvd, PO Box 1468 Saginaw MI 48605 989-799-7500 [email protected] 10/19/2017 2005 Residential Trust 3-1 Robert Yanes Y 117 Wrangler Dr., Suite 100 Coppell TX 75019 714-282-2424 ext. -
Charles Schwab Annual Report 2021
Charles Schwab Annual Report 2021 Form 10-K (NYSE:SCHW) Published: February 24th, 2021 PDF generated by stocklight.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☒ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2020 or ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from ________ to ________ Commission File Number: 1-9700 THE CHARLES SCHWAB CORPORATION (Exact name of registrant as specified in its charter) Delaware 94-3025021 (State or other jurisdiction of incorporation or organization) (I.R.S. Employer Identification No.) 3000 Schwab Way, Westlake, TX 76262 (Address of principal executive offices and zip code) Registrant’s telephone number, including area code: (817) 859-5000 Securities registered pursuant to Section 12(b) of the Act: Title of each class Trading Symbol(s) Name of each exchange on which registered Common Stock – $.01 par value per share SCHW New York Stock Exchange Depositary Shares, each representing a 1/40th ownership interest in a share of 6.00% Non-Cumulative Preferred Stock, Series C SCHW PrC New York Stock Exchange Depositary Shares, each representing a 1/40th ownership interest in a share of 5.95% Non-Cumulative Preferred Stock, Series D SCHW PrD New York Stock Exchange Securities registered pursuant to Section 12(g) of the Act: None Indicate by check mark if the registrant is a well-known seasoned issuer, as defined in Rule 405 of the Securities Act. -
Tradestation Rated “Best for Frequent Traders” for Third Consecutive Year in Barron’S Magazine’S Annual Ranking of Online Brokerage Firms
For Immediate Release TradeStation Rated “Best for Frequent Traders” for Third Consecutive Year in Barron’s Magazine’s Annual Ranking of Online Brokerage Firms Also Rated “Best Trading Experience and Technology” and Given Highest Star Rating for “International Traders” Plantation FL, March 11, 2013 – TradeStation, a Monex Group company (TSE: 8698) and award-winning broker-dealer and futures commission merchant, was ranked “Best for Frequent Traders” in Barron’s magazine’s annual review of online brokerage firms, now in its eighteenth year. TradeStation topped 23 other leading online brokers in the frequent trader category, including Interactive Brokers, TDAmeritrade, Charles Schwab, Fidelity, E*TRADE, Scottrade, Merrill Edge, tradeMonster, and optionsXpress. In rating TradeStation “Best for Frequent Traders” and awarding it the highest rating for “Trading Experience and Technology,” Barron’s noted that “TradeStation offers an incredible platform…. The trading experience can be completely customized, allowing you to trade from grids, charts, or market-depth screens.” Winning the “Best for Frequent Traders” ranking for the third consecutive year cements TradeStation’s position as the leading online broker for the active trader and investor markets. TradeStation also received the highest star rating for “International Traders” for the second year in a row and third time overall. Barron’s went on to praise TradeStation for offering traders “help when you first become a TradeStation customer, with support staff figuring out where you are in your trading career and helping you customize the flexible platform for your needs. There are numerous Webinars available throughout the week to keep you in touch with the markets, from a weekly futures market outlook to a daily stock-market session. -
One Or More Unknown Traders in the Common Stock of Certain Issuers, Defendants, and JSC Parex Bank, Relief Defendant
IN THE UNITED STATES DISTRICT COURT FOR THE DISTRICT OF COLUMBIA SECURITIES AND EXCHANGE COMMISSION 100 F Street, N.E. Washington, DC 20549, Plaintiff, vs. Civil No. ONE ORMORE UNKNOWN TRADERS IN THE COMMON STOCK OF CERTAIN ISSUERS, ; p : ; :I. :: <>,i:::1:,..: (~l<jlt:. :I. Defendants, ..[.,, ....,... t.. .. ...! I,:! ::. :: 1:;: :i. <::aI..[:! <::I /'ri ,, !.J i. ]::I :i. 1.1 3 and I : 1. : ... :: .....:: : :,I j I,.. :I: i..i .i i.!l-i c: -tj, ,... r i-lil.,.,,::: $, JSC PAREX BANK, x>n.j-l;;:.::;........ <..i... ...,-:; . /.. c..'.:,,k.., :........, ..::. 1,)... 1z.j.. ...,,.:. Relief Defendant. COMPLAINT FOR INJUNCTIVE AND OTHER RELIEF Plaintiff the United States Securities and Exchange Commission ("Commission") alleges: SUMMARY 1. This action stems fi-om a modern-day, technological version of the traditional "pump-and-dump" market manipulation scheme. From at least December 2005 through December 2006, the defendants engaged in a scheme to fraudulently use -- the Internet to intrude into the online brokerage accounts of unsuspecting customers at U.S. broker dealers and place unauthori~ed~tradesin the accounts for the defendants' own pecuniary benefit. The scheme worked like this. First, the defendants purchased in their own accounts shares of stock in a thinly traded company. Shortly thereafter, the defendants, directly or indirectly, intruded into the online brokerage accounts of investors at U.S. broker-dealers, liquidated existing equity positisns and, using the resulting proceeds, purchased and sold thousands, and in one instance millions, of shares of the same thinly traded stocks purchased by the defendants in their own accounts. The unauthorized trading in the third-party accounts created the appearance of trading activity -- and pumped up the price of the stocks. -
One More Reason to Buy Online by Theresa W
THE DOW JONES BUSINESS AND FINANCIAL WEEKLY www.barrons.com MARCH 20, 2017 SPECIAL REPOR%T Amid price cuts, Fidelity repeats as Barron’s Best Online broker, nosing out Interactive Brokers. One More Reason to Buy Online by Theresa W. Carey The bull market is on sale for online cial-advice decisions. Barron’s own reader sion only for opening a position—$5 for brokerage customers. survey shows that the majority of respon- equities and $1 per contract for options. In the run-up to our 22nd annual rank- dents want to keep their costs at a bare Closing a position is free. ing of Barron’s Best Online Brokers, two minimum. As much as we admire tastyworks, it developments topped all others: The three “But cost is just one piece of the puz- seems unlikely that a small newcomer major indexes—the Dow Jones Industrial zle,” as Metzger says. Barron’s encourages could cause such an upheaval. Schwab, Average, the Standard & Poor’s 500, and investors to look at the entire set of ser- one of the largest online brokers, both by the Nasdaq Composite—all set record vices a broker provides, including research assets under management and by number highs, and six brokers slashed commis- and education offerings, and then decide of clients, isn’t a nimble little sailboat that sions and other fees. At the 16 brokers we whether the commissions assessed provide reacts to every passing breeze. It is, rather, reviewed this year, the average monthly adequate value. a large ship—and it can take time to change cost of trading for an occasional investor Cost is an element in our rankings, and headings. -
Model Market Center Disclosure Brochure: Form ADV, Part 2-TDI 0521
Model Market Center® Disclosure Brochure FORM ADV, PART 2 Mailing address: TD Ameritrade Institutional 7801 Mesquite Bend Drive Suite 112 Irving, TX 75063-6043 Main: 800-400-6288 Option 3, then 4 tdameritrade.com May 14, 2021 This brochure provides prospective clients with information about TD Ameritrade, Inc. (“TD Ameritrade”) that should be considered before or at the time of participating in the TD Ameritrade Institutional Model Market Center program. If you have any questions about the contents of this brochure, please contact us at 800-400-6288, Option 3, then 4. The information in this brochure has not been approved or verified by the United States Securities and Exchange Commission or by any state securities authority. Additional information about TD Ameritrade, Inc. is also available on the SEC’s website at adviserinfo.sec.gov. The IARD/CRD number for TD Ameritrade is CRD # 7870. TD Ameritrade Institutional is a division of TD Ameritrade, Inc. TD Ameritrade is registered with the United States Securities and Exchange Commission as a Registered Investment Adviser. Registration with the United States Securities and Exchange Commission or any state securities authority does not imply a certain level of skill or training. IMPORTANT INFORMATION IS CONTAINED THROUGHOUT THIS DISCLOSURE DOCUMENT. PLEASE READ IT CAREFULLY IN ITS ENTIRETY, AND BE CERTAIN TO ASK YOUR TD AMERITRADE RELATIONSHIP MANAGER IF YOU HAVE ANY QUESTIONS. YOU MAY NOT PARTICIPATE IN THE MODEL MARKET CENTER PROGRAM UNTIL YOU EXECUTE MODEL MARKET CENTER PROGRAM TERMS AND CONDITIONS WHEREIN YOU ACKNOWLEDGE THAT, AMONG OTHER THINGS, YOU HAVE READ AND UNDERSTAND THIS DISCLOSURE STATEMENT.